John A. Dougherty

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CRD#: 3018615

Professional summary

John Aloysius Dougherty was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, John had worked at 5 firms, which includes LPL FINANCIAL LLC, WELLS FARGO CLEARING SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, NEW ENGLAND SECURITIES, MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Jack Dougherty | John A Dougherty | John Aloyious Dougherty

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 01/04/2021 - GLADSTONE WEALTH PARTNERS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ CONSHOHOCKEN, PA

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Past

January 4, 2021 - August 11, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

BLUE BELL, PA

Past

January 4, 2021 - August 11, 2023

LPL FINANCIAL LLC

CRD#: 6413

BLUE BELL, PA

Past

April 26, 2013 - January 13, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COLLEGEVILLE, PA

Past

April 26, 2013 - January 13, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLLEGEVILLE, PA

Past

April 21, 2010 - April 30, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PHILADELPHIA, PA

Past

April 9, 2010 - April 30, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PHILADELPHIA, PA

Past

July 29, 2008 - December 31, 2009

NEW ENGLAND SECURITIES

RIA

CRD#: 615

NEWTOWN SQUARE, PA

Past

June 9, 2008 - March 24, 2010

NEW ENGLAND SECURITIES

CRD#: 615

NEWTOWN SQUARE, PA

Past

January 8, 2008 - February 5, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

BRYN MAWR, PA

Past

January 7, 2008 - February 5, 2008

LPL FINANCIAL LLC

CRD#: 6413

BRYN MAWR, PA

Past

November 25, 2003 - December 31, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PHILADELPHIA, PA

Past

January 6, 2003 - December 31, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

March 9, 1998 - January 6, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/18/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/18/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/20/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/5/1998

General Securities Representative Examination

Current Firm

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

California since 11/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

37,893

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)

LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)

LPL OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)

LPL PWP PROGRAM BROCHURE A9 (9/30/2025)

LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)

LPL SAM PROGRAM BROCHURE A7 (9/30/2025)

LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)

LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)

LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)

LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)

LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)

LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)

LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)

LPL MS PROGRAM BROCHURE MS302 (9/30/2025)

LPL APP PROGRAM BROCHURE A16 (7/15/2025)

LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)

GUIDED WEALTH PORTFOLIOS (3/31/2025)

BANK WEALTH PROGRAM (3/31/2025)

LPL FIRM BROCHURE A58 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
AUDETTE, MATTHEW JON	PRESIDENT AND CHIEF FINANCIAL OFFICER	4003349
ENYEDI, MATTHEW KLAUS	MANAGING DIRECTOR, NATIONAL SALES	4194266
GATES, GREGORY	MANAGING DIRECTOR, CHIEF INFORMATION OFFICER	7069201
JAMBUSARIA, ANERI	MANAGING DIRECTOR LPL SERVICES GROUP	7248335
MALFITANO, STEVEN THOMAS	SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER	3178848
MCHALE, JAMES	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	6052977
RICKETTS, JUDITH KOHOSKIE	EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER	2758924
SIMONICH, BRENT BLAIN	EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER	3254859
STEINMEIER, RICHARD C	CHIEF EXECUTIVE OFFICER AND DIRECTOR	5109512

Regulatory assets under management

Total Number of Accounts	2,369,378
AUM (Assets Under Management)	$ 618,922,975,737

Disclosures

Regulatory Event	208
Arbitration	58
Bond	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report
07/19/2024	Cover Page	Report
11/09/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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John A. Dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/1998

Series 63

Date: 3/18/1998

SIE

Date: 10/1/2018

Series 31

Date: 3/20/1998

Series 7

Date: 3/5/1998

Current Firm

LPL FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL FINANCIAL LLC

TRUST BUT VERIFY

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